Wealth manager, wrap-program sponsor · Taipei, Taiwan, Republic of China
Tradingvalley Inc.
SEC-registered investment adviser · CRD 298542 · SEC 801-114112
At a glance
Tradingvalley Inc. is an SEC-registered investment adviser based in Taipei, Taiwan, Republic of China, with $4 million in regulatory assets under management as of its Form ADV filed March 2, 2026. Its largest client group by assets is individuals, and it reports 168 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 8,791st of 8,915 wealth managers and 16,378th of 17,210 SEC-registered advisers by assets.
Main office +88627136598growin.tvAs filed on Form ADV
- Regulatory AUM
- $4M
- Rank among wealth managers
- #8,791 of 8,915
- Rank among all SEC RIAs
- #16,378 of 17,210
- Individual clients
- 168
- High-net-worth clients
- 0
- Accounts
- 168
- Discretionary
- 100% of AUM
- Employees
- 2
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Han -Sheng N. PengChief Executive Officer
- Chia Hao LeeChief Compliance Officer
Custody and brokerage
Custodian
Tradingvalley Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 168 | $4M | 100% |
Disciplinary disclosures
Tradingvalley Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Periodicals or newsletters
- Security ratings or pricing
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗growin.tv ↗
AtlasMembers
The full record on Tradingvalley Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 6 years of filings
- Locked
- Growth over one, three and five years
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- Rank against 87 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Tradingvalley Inc. manage?
Tradingvalley Inc. reports $4 million in regulatory assets under management across 168 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 2, 2026.
What kind of firm is Tradingvalley Inc.?
Tradingvalley Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Tradingvalley Inc.’s clients?
By assets, its largest client types are individuals ($4 million, 168 clients).
Does Tradingvalley Inc. have any disciplinary history?
Tradingvalley Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Tradingvalley Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-02), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →